Trading fraud is a serious crime. It may involve conflict of interest, misrepresentation of self or stocks, insider information, excessive trading, failure to diversify when requested, manipulating the market, unauthorized or unrequested trading and a host of related perceived crimes. The claim of trading fraud must have a solid basis in the law as understood and interpreted through the Securities Act of 1933. It is essential the investor have inviolable proof of the misdeeds that can be classified as trading fraud before filing charges. The investor must be sure the fault of a loss, error or mistake lies with the broker and not elsewhere. Was he or she negligent in performing his or her duties? Is the act or acts of negligence documented in any form? Talk to a securities lawyer about the situation before you file a claim. He or she will understand how to address any issues including arbitration.